Comments on CFTC proposed rules on governance and conflict standards for Designated Contract Markets and Swap Execution Facilities are due on or before April 22, 2024.
News & Insights
An SEC and CFTC joint final rule adopting amendments to Form PF will go into effect on March 12, 2025. The final rule was published in the Federal Register.
A footwear company settled with the SEC for failing to make required disclosures of related person transactions in its annual reports and proxy statements.
The CFTC proposed new rules and amendments establishing governance and fitness requirements with respect to market regulation functions and conflict of interest standards at Designated Contract Markets and Swap Execution Facilities.
FinCEN proposed to include "investment adviser" in the definition of "financial institution" under the Bank Secrecy Act. The proposed rule would require advisers to implement AML/CFT programs and maintain recordkeeping requirements.